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Showing 751 to 760 of 829 search results for senior managers regime.

751. PS21/11: General insurance pricing practices - amendments

     Policy statements Published: 16/08/2021 Last modified: 02/12/2022
     In May 2021, we published PS21/5 which set out our final rules to address the harm we had found in our GI Pricing Practices Market Study. On 18 August, we published PS21/11, making minor changes to these rules.

752. FCA publishes review of business interruption insurance claims handling

     Press Releases Published: 04/10/2022 Last modified: 04/10/2022
     The FCA publishes the latest BI data and sets out examples of good practice and where insurance firms have fallen short of expectations in their handling of BI claims.

753. Information on enforcement action within asset management in 2019 - May 2020

     FOI Release Date of Release: 14/05/2020
     The FCA provides information on enforcement action within asset management in 2019.

754. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

755. Firms continue to fail to meet our expectations on their use of dealing commission

     Multi-firm reviews Published: 03/03/2017 Last modified: 29/11/2021
     We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

756. FCA fines Barclays £72 million for poor handling of financial crime risks

     Press Releases Published: 26/11/2015 Last modified: 26/11/2015
     The FCA specifically found that Barclays:. senior management at the relevant time failed to oversee adequately Barclays’ handling of the financial crime risks associated with the Business Relationship and that it ... was unclear which senior managers

757. Information regarding the Temporary Permissions Regime (TPR) and Temporary Marketing Permissions Regime (TMPR) - March 2020

     FOI Release Date of Release: 05/03/2020
     The FCA provides information regarding the Temporary Permissions Regime (TPR) and Temporary Marketing Permissions Regime (TMPR).

758. FCA fines former managing director £45,000 for failure to notify personal trades

     Press Releases Published: 20/12/2019 Last modified: 20/12/2019
     The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

759. FCA statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario

     Statements Published: 11/03/2019 Last modified: 24/11/2020
     This statement explains what Trade Repositories (TRs), and UK counterparties that use them, should do to make sure they are compliant with their EMIR reporting obligations after the UK leaves the EU.

760. Business interruption insurance test case: draft guidance for firms

     Policy and guidance Guidance consultations Published: 01/06/2020 Last modified: 01/06/2020
     FCA publishes draft guidance for firms on the business interruption insurance test case